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To help applicants keep track of the numerous forms and documents that are required for an SBIR/STTR application, DOE has created a Phase I Application Checklistrequirements list.  It is recommended that applicants download the checklist this list and use it as a guide to ensure that all required application materials are included in the package.  Please note that the documents listed are not in the same sequence as applicants will encounter in the Grants.gov application workspace.  


Phase I Requirements List

Name of Document

Format

Attach to

Application for Federal Assistance, SF-424 Form

PDF

N/A

Research and Related: Budget Form

PDF

N/A

 Additional Senior Key Persons, if applicable

PDF

Field A. 9

 Additional Equipment, if applicable

PDF

Field C. 11

 Budget Justification

PDF

Field K

Research and Related: Senior/Key Person Profile Form

PDF

N/A

 Biographical Sketch for each person

PDF

Appropriate Block

 Current & Pending Support for each person, if applicable

PDF

Appropriate Block

Research and Related: Other Project Information Form

PDF

N/A

 Project Abstract and Summary

PDF

Field 7

 Project Narrative (PN)

 New – Promoting Inclusive and Equitable Research (PIER) Plan

PDF

Field 8

PIER Plan is included as an appendix to PN

 Bibliography and References Cited, if applicable

PDF

Include in Project Narrative

 Facilities and Other Resources, if applicable

PDF

Include in Project Narrative

 Equipment, if applicable

PDF

Include in Project Narrative

 Other— Data Management Plan

PDF

Field 12

 Other— Disclosure of Foreign Relationships

PDF

Field 12

 Other—Level of Effort & Max Funding Worksheet

PDF

Field 12

 Other—Letter of Commitment for consultant, sub-award, or research institution, if applicable

PDF

Field 12

 Other—Letters of Support, if applicable

PDF

Field 12

 Other—SBA Company Registration

PDF

Field 12

Other – Company Commercialization Report from SBIR.gov for STTR-Only applications, if applicable

PDF

Field 12

 Authorization for non-DOE/NNSA FFRDCs, if applicable

PDF

Field 12

 Authorization for DOE/NNSA FFRDC, if applicable and if available

PDF

Field 12

Research and Related: Sub-award Budget Form, if applicable

PDF

N/A

 Budget Justification for each Sub-award

PDF

Appropriate Block

SF-LLL, Disclosure of Lobbying Activities, if applicable

PDF

N/A

Project/Performance Site Location(s)

PDF

N/A

SBIR/STTR Information Form

PDF

N/A

 Phase I Commercialization Plan

PDF

Field 8

Company Commercialization Report from SBIR.gov for SBIR or Both SBIR/STTR applications, if applicable

PDF

Field 9

        Note: N/A is for a Grants.gov supported formImage Removed


Phase 0 Resources:

  • Phase 0 tutorial podcast:  The Application Requirements Checklist → Click Here 
  • Phase 0 tutorial pdf:  The Application Requirements Checklist → Click Here

Websites & Tutorials: